Statement of Changes in Beneficial Ownership (4)
April 01 2021 - 2:11PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Rintoul David J. |
2. Issuer Name and Ticker or Trading Symbol
GRAFTECH INTERNATIONAL LTD
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EAF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
C/O GRAFTECH INTERNATIONAL LTD., 982 KEYNOTE CIRCLE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2021 |
(Street)
BROOKLYN HEIGHTS, OH 44131
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Deferred Share Units | (1)(2) | 3/31/2021 | | A | | 17.7613 | | (1)(3) | (1)(3) | Common Stock | 17.7613 | $0 | 21739.8713 | D | |
Restricted Stock Units | (1)(2) | 3/31/2021 | | A | | 50.8242 | | (1)(4) | (1)(4) | Common Stock | 50.8242 | $0 | 46669.3551 | D | |
Restricted Stock Units | (1)(2) | 3/31/2021 | | A | | 56.3885 | | (1)(5) | (1)(5) | Common Stock | 56.3885 | $0 | 69019.5307 | D | |
Explanation of Responses: |
(1) | Additional units accrued pursuant to dividend equivalent rights with respect to outstanding awards of units based upon the closing price of EAF as of the dividend payment date. |
(2) | Each unit represents a contingent right to receive one share of EAF common stock. |
(3) | Deferred share units vest on April 19, 2021 and will be settled in whole shares of common stock which will be delivered to the reporting person by the end of the calendar year in which the reporting person terminates employment with the company. |
(4) | The restricted stock units (RSUs) vest in five equal annual installments beginning on March 21, 2020. |
(5) | The RSUs vest in five equal annual installments beginning on February 25, 2021. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rintoul David J. C/O GRAFTECH INTERNATIONAL LTD. 982 KEYNOTE CIRCLE BROOKLYN HEIGHTS, OH 44131 | X |
| President and CEO |
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Signatures
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/s/ Gina K. Gunning, by power of attorney | | 4/1/2021 |
**Signature of Reporting Person | Date |
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